Charles K. Voorhees
LPL ENTERPRISE
HILL CITY, SD 57745
Some features on this profile are disabled
CRD#: 6427552
Professional summary
Charles K Voorhees, CFP®, who also goes by Chuck Voorhees, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Hill City, South Dakota.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Charles has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chuck Voorhees
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 12/05/2024 - Strategic Path Wealth Management - DBA for LPL Business (entity for LPL business) - inv related - at registered business location(s) - start date 11/20/2024 - 160 hrs/mth - 160 during trading 2) 09/24/2024 - Hill City Chamber - Board member on Hill City Chamber - Non-Profit Board Member - not inv related - Rapid City, SD - start date 12/01/2018 - 5 hrs/mth - 2 during trading 3) 09/19/2024 - Lemongrass LLC - Owner of a small seasonal restaurant - Business Owner - not inv related - Rapid City, SD - start date 05/01/2023 - 40 hrs/mth - 10 during trading 4) 09/19/2024 - AAAC Properties LLC - Ownership of Restaurant Property - Real Estate Rental - inv related - Rapid City, SD - start date 02/01/2021 - 2 hrs/mth - 0 during trading
CRS (Client Relationship Summary) - RIA
Click below to view Charles K Voorhees's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles K Voorhees's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2017
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 280 Main St Suite 7, Hill City, SD 57745Office #2: 3209 W. Main Street, Rapid City, SD 57702RIA
BD
CRD#: 8733
HILL CITY, SD
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 280 Main St Suite 7, Hill City, SD 57745Office #2: 3209 W. Main Street, Rapid City, SD 57702RIA
BD
CRD#: 8733
HILL CITY, SD
Past
January 22, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
RAPID CITY, SD
Past
January 8, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
RAPID CITY, SD
Past
January 8, 2020 - November 7, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
RAPID CITY, SD
Past
December 16, 2019 - November 7, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
RAPID CITY, SD
Past
February 18, 2015 - June 23, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Hill City, SD
Past
December 17, 2014 - June 23, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Hill City, SD
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
South Dakota(11/14/2024)
IAR
South Dakota(11/14/2024)
RR
Wyoming(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/16/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
